Statement of Changes in Beneficial Ownership (4)
May 20 2020 - 5:20PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Jacobowitz Jeffrey |
2. Issuer Name and Ticker or Trading Symbol
Donnelley Financial Solutions, Inc.
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DFIN
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O DONNELLEY FINANCIAL SOLUTIONS, 35 WEST WACKER DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/18/2020 |
(Street)
CHICAGO, IL 60601
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 5/18/2020 | | A | | 20690 | A | (1) | 30198 (2) | D | |
Common Stock | | | | | | | | 3300000 | I | See Footnote (3) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Company granted restricted stock units ("RSUs") issued pursuant to a Rule 16b-3 plan. The RSUs are payable in shares of common stock on the first anniversary of the grant date or when the reporting person ceases to be a director, if earlier. |
(2) | Includes 30,198 restricted stock units. |
(3) | The reported securities are directly owned by either Simcoe Partners, L.P. ("Simcoe Partners"), Simcoe Select, L.P. ("Simcoe Select") or SDR Partners, LLC ("SDR Partners"). The reported securities may be deemed indirectly beneficially owned by Jeffrey Jacobowitz as Managing Member of Simcoe Management Company, LLC, which serves as general partner of Simcoe Partners and Simcoe Select, and Simcoe Capital Management, LLC, which serves as investment manager to each of Simcoe Partners, Simcoe Select and SDR Partners. Mr. Jacobowitz disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that Mr. Jacobowitz is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Jacobowitz Jeffrey C/O DONNELLEY FINANCIAL SOLUTIONS 35 WEST WACKER DRIVE CHICAGO, IL 60601 | X |
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Signatures
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Jennifer Reiners, pursuant to power of attorney | | 5/20/2020 |
**Signature of Reporting Person | Date |
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